Assessing the Ocean Governance Frameworks Underpinning Deep Sea Minerals Development in the Cook Islands Alexandrya Herman UN-Nippon Foundation Fellowship 2015-2016 i DISCLAIMER The views expressed herein are those of the author and do not necessarily reflect the views of the United Nations, the Nippon Foundation of Japan, the University of Queensland or the Government of the Cook Islands. ii ABSTRACT In 2009, the Cook Islands, a small island developing state with a large ocean spanning1.8 million km2 in the South Pacific, established landmark deep seabed mining legislation to guide sustainable deep sea minerals development in the Cook Islands. Deep sea activities do not occur in a vacuum, and impact other sectors and users in the ocean space. As such, ocean governance provides an all- encompassing framework to ensure the sustainable development of deep sea resources, through policy, legislative and institutional arrangements, and guided by principles for the management of the ocean space. This thesis assesses the existing deep sea minerals (DSM) ocean governance frameworks at the international, regional and national level to examine its robustness, using the following key ocean governance principles as indicators: an integrated approach, cooperation, protection of the environment, common heritage of mankind, marine scientific research and capacity building. While the existing DSM frameworks incorporate these key ocean governance principles, there are legislative gaps and weaknesses, and implementation challenges across all levels, particularly in the Cook Islands. This is contributed by the inherently complex nature of ocean governance, a traditional fragmented approach to ocean management, and the underlying capacity challenges of a small island developing state. However, awareness and understanding of these issues is increasing, as reflected in recent DSM management efforts. Ensuring the sustainable development of oceans resources for the Cook Islands to achieve its national vision of ‘the highest quality of life consistent with the aspirations of our people, and in harmony with our culture and environment,’ requires a collaborative effort at all levels to address this issue in an integrated, coherent and participatory manner. iii ACKNOWLEDGEMENTS Firstly, I give the honour and the glory to God for this thesis: Philippians 4:13 “I can do all things through Christ who strengthens me.” This thesis would not have been possible without the support from a range of people and institutions, whom I would like to thank and acknowledge. Much like the concept of the ocean, these people are connected and interrelated along various marine-related sectors in international, regional and national spheres. I wish to acknowledge the United Nations and the Nippon Foundation of Japan for this fellowship programme, which has enriched my knowledge profoundly, provided unforgettable experiences and allowed me to meet many inspirational people with a passion for ocean governance. I would like to express my sincere gratitude to the Division for Ocean Affairs and the Law of the Sea, and its staff who generously gave presentations, and their time to discuss issues relating to deep sea minerals and beyond. To Valentina Germani, I cannot thank you enough for your guidance and unwavering support. You are an inspiration to us all. Thank you to Francois Bailet whose presentation on ocean governance challenged me to think beyond the deep sea minerals sector and to consider its management with a wider appreciation of the interconnectedness of ocean affairs. Also, thank you to Simone Dempsey, who is the oil behind the scenes ensuring that all administrative matters ran smoothly. I wish to acknowledge the University of Queensland for hosting me, and providing me with what I needed during my tenure. Specifically, I wish to thank Professor Craig Forrest for his guidance, for reviewing my drafts and making important corrections and suggestions, and for his patience, which was greatly appreciated. Thank you also to Vu Ngo for the IT support. To my 2015-2016 fellows, I am grateful to have met a group of like-minded people, with whom I have made life-long friends. Thank you also to the UN-Nippon Fellowship Alumni for the support. I look forward to participating and contributing to the Alumni in the future. Internationally, regionally and nationally, there are a number of people and institutions to thank and acknowledge that are too many to name individually. Some are colleagues from the Pacific Deep Sea Minerals Project, the Commonwealth Secretariat, the International Seabed Authority, as well as within the Cook Islands Government to name a few. Thank you for responding to my queries, and sharing your views on issues, as well as the general discussions, which continue to develop my own understanding. Thank you to the Cook Islands Seabed Minerals Authority staff who have supported me and held the fort in my absence. Thank you to Paul Lynch for supporting my aspiration to undertake this fellowship, as such capacity opportunities ensure the future sustainability of the Cook Islands. Finally, I wish to acknowledge and thank my mother Josephine Aumea Herman-Tepai whose passion and perseverance for academic excellence is both exemplary and inspirational. I also acknowledge my late grandparents Metuaiviivitoa Joseph and Mikara Herman for instilling in me the values that have enabled me to become the person I am today. To all my family and friends I have not mentioned, thank you for always believing in me and encouraging me to pursue my dreams. I would not be where I am today without your continued support and I dedicate this thesis to you all. iv LIST OF ACRONYMS ADB Asian Development Bank BPOA Barbados Programme of Action CBD Convention on Biological Diversity CCZ Clarion Clipperton Fracture Zone CS Continental Shelf CSD Commission on Sustainable Development CIIC Cook Islands Investment Corporation CIMP Cook Islands Marine Park CLCS Commission on the Limits of the Continental Shelf CROP Council of Regional Organisations in the Pacific DOALOS United Nations Division for Ocean Affairs and the Law of the Sea DOSI Deep Ocean Stewardship Initiative DSM deep sea minerals or deep sea mining DSCC Deep Sea Conservation Coalition EBM ecosystem-based management EMP environmental management plan ECOSOC United Nations Economic and Social Council EDF European Development Fund EEZ Exclusive Economic Zone EIA Environmental Impact Assessment EITI Extractive Industries Transparency Initiative EMP Environmental Management Plan EU European Union FfD Finance for Development GOC Global Ocean Commission GSD Geoscience Division GSR G-TEC Sea Mineral Resources NV HLPF High-level Political Forum on Sustainable Development ICP United Nations Open-ended Informal Consultative Process on Oceans and the Law of the Sea IEA Island Environment Authority IMO International Maritime Organisation INDEEP International Network for Scientific Investigation of Deep-sea Ecosystems ISA International Seabed Authority ILO International Labour Organisation LTC Legal and Technical Commission ITLOS International Tribunal for the Law of the Sea IUU illegal, unreported and unregulated IUCN International Union for Conservation of Nature and Natural Resources JNAP Cook Islands Joint National Action Plan for Disaster Risk Management and Climate Change Adaptation JPOI Johannesburg Plan of Implementation 2002 KASM Kiwis against Seabed Mining v MARPOL International Convention for the Prevention of Pollution from Ships MCI Maritime Cook Islands MDG Millennium Development Goals MFAI Ministry of Foreign Affairs and Immigration MFEM Ministry of Finance and Economic Management MIDAS Managing Impacts of Deep-Sea Resource Exploitation MLC Maritime Labour Convention 2006 MMR Ministry of Marine Resources MMT Marae Moana Taskforce MoT Ministry of Transport MPI Minerals Policy Institute MSP Marine Spatial Planning MSR Marine Scientific Research NBSAP National Biodiversity Strategy and Action Plan NEC National Environment Council NES National Environment Service NIWA National Institute of Water and Atmospheric Research NRC National Research Committee NSDC National Sustainable Development Commission NSDP National Sustainable Development Plan 2011-2015 NZ New Zealand NZEPA New Zealand Environmental Protection Authority NZPAM New Zealand Petroleum and Minerals OSH Occupational Health and Safety OPM Office of the Prime Minister OPOC Office of the Pacific Ocean Commissioner OPSC Office of the Public Service Commissioner PALM7 7th Pacific Islands Leaders Meeting PANG Pacific Network on Globalisation PC Pacific Community (formerly known as the Secretariat of the Pacific Community) PFTAC Pacific Financial Technical Assistance Centre PIANGO Pacific Islands Association of Non-Governmental Organisations PICT Pacific Islands Country or Territory PIFS Pacific Islands Forum Secretariat PIROF-ISA Pacific Islands Regional Ocean Framework for Integrated Strategic Action PIROP Pacific Islands Regional Ocean Policy POI Pacific Ocean Initiative PSIDS Pacific Small Island Developing States REMF Regional Environmental Management Framework for Deep Sea Minerals Rio+20 United Nations Conference on Sustainable Development 2012 RLRF Regional Legislative and Regulatory Framework for Deep Sea Minerals Exploration and Exploitation in the Pacific SAMOA SIDS Accelerated Modalities of Action SDG Sustainable Development Goal SEA Strategic Environmental Assessment vi SIDS Small Island Developing States SMA Cook Islands Seabed Minerals Authority SMS Seafloor Massive